COVID-19 resources

 

ACA is closely monitoring the coronavirus (COVID-19) pandemic and how it is affecting our clients and the financial services industry. We will continue to provide regulatory updates, resources, and best practices to help your firm navigate this challenging time.

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We offer a range of services designed to help firms address and mitigate the new and emerging risks resulting from the COVID-19 pandemic in order to maintain business operations and withstand the crisis. Please reach out if your firm needs support.

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Resources


October 21, 2020
Thought Leadership
The ability to manage growing operational risks effectively, efficiently, and promptly determines a firm’s level of operational resilience and can help them manage RiskMutation™.
October 8, 2020
Thought Leadership
RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.
October 7, 2020
Press Release
Business disruption and RiskMutationTM causes a global spike in financial services firms turning to RegTech, outsourcing, and operational resilience solutions for risk and compliance management in the age of COVID-19, with indicators revealing these pressures are set to be a continuing trend.
September 29, 2020
Thought Leadership
Find out what RiskMutation™ is and why it's accelerating the modernization of risk and compliance management.
August 14, 2020
Press Release
ACA's ComplianceAlpha app for mobile devices provides financial services firms with an easier, more accessible compliance experience for today’s increasingly distributed work environment.
August 14, 2020
Compliance Alert
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.
June 30, 2020
Thought Leadership
Download our surveillance gap assessment checklist to see how your program measures up.
June 11, 2020
Thought Leadership
With the reopening phase of the COVID-19 pandemic underway, compliance officers will need to be strategic and agile in their approach to compliance management. Here are some key considerations to keep in mind.
June 10, 2020
Compliance Alert
The U.S. Securities and Exchange Commission recently issued guidance to financial institutions regarding some of the disclosure requirements and other obligations related to the Paycheck Protection Program and the impact of COVID-19.
June 8, 2020
Financial regulators in the U.S. and UK have recognized the risks posed by market volatility, remote working, and delayed public disclosure and filings during the COVID-19 pandemic.
June 5, 2020
Thought Leadership
To help your firm protect itself against insider trading, ACA is providing our web-based training course free of charge until September 4.
June 5, 2020
Thought Leadership
Fraudsters are quick to exploit an opportunity and the coronavirus pandemic has led to attempts to take advantage of new working behaviors and hastily implemented government schemes. Learn about the heightened risk, as well as measures businesses can take to protect themselves and their employees.